UNITED STATES OF AMERICA, Plaintiff-Appellee, v. JESUS PEREZ GARCIA, Defendant-Appellant.
No. 22-50314
UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT
September 4, 2024
D.C. No. 3:22-cr-01581-GPC-2
ORDER
UNITED STATES OF AMERICA, Plaintiff-Appellee, v. JOHN THOMAS FENCL, Defendant-Appellant.
No. 22-50316
D.C. No. 3:21-cr-03101-JLS-1
Filed September 4, 2024
Before: Kim McLane Wardlaw, Richard R. Clifton, and Gabriel P. Sanchez, Circuit Judges.
Order;
Dissent by Judge VanDyke
SUMMARY*
Criminal Law
The panel denied a petition for panel rehearing and a petition for rehearing en banc in consolidated appeals in which the panel issued an opinion (1) denying a motion brought by the two defendants to dismiss the appeals as moot and (2) providing its full rationale for its previous order affirming the district court’s orders subjecting defendants to a condition of pretrial release that temporarily barred them from possessing firearms pending trial.
Judge Sanchez, joined by Judges Wardlaw, Clifton, Koh, Sung, H.A. Thomas, and Mendoza, concurred in the denial of rehearing en banc. Judge Sanchez wrote separately to make two points. First, the appeal is clearly unworthy of en banc review, as such review is not necessary to secure or maintain uniformity of the court’s decisions and the proceeding does not involve a question of exceptional importance. Second, the Supreme Court’s recent decision in United States v. Rahimi, 144 S. Ct. 1889 (2024), vindicates the panel’s analysis.
Dissenting from the denial of rehearing en banc, Judge VanDyke wrote that even though mootness deprived the court of the ability to review the merits of the panel’s decision, the court should have taken the case en banc to vacate the panel’s opinion. He wrote that after the panel moot-proofed the case by issuing an unreasoned, placeholder order denying relief to defendants on the same day as oral
argument, the panel provided its reasoning in an unnecessary opinion that (1) went out of its way to opine on a tradition—of disarming “dangerous” people—that has the potential to affect countless other, unrelated cases; and (2) gratuitously stretched to help the government meet its burden of producing historical analogues that justify its regulation. Judge VanDyke wrote that against this background, errors in the panel’s merits analysis—which abstracts the history to such a high level of generality that it essentially returns to the realm of interest-balancing, all while failing to hold the government to its burden—become all the more problematic, and presents an exceptional circumstance in which it would have been appropriate for the court to exercise its equitable discretion to vacate the panel’s opinion.
ORDER
The panel unanimously voted to deny the petition for panel rehearing. Judges Wardlaw and Sanchez voted to deny the petition for rehearing en banc, and Judge Clifton so recommends. The full court was advised of the petition for rehearing en banc. A judge of the court requested a vote on whether to rehear the matter en banc. The matter failed to receive a majority of the votes of the non-recused active judges in favor of en banc consideration.
The petition for panel rehearing and rehearing en banc, Dkt. 31, is DENIED. No further petitions for rehearing en banc will be considered.
SANCHEZ, Circuit Judge, joined by WARDLAW, CLIFTON, KOH, SUNG, H.A. THOMAS, and MENDOZA, Circuit Judges, concurring in the denial of rehearing en banc:
In United States v. Perez-Garcia, 96 F.4th 1166 (9th Cir. 2024), we unanimously held that the Government could temporarily disarm two criminal defendants—Jesus Perez-Garcia and John Fencl—pending their felony trials consistent with the
Because neither Fencl nor Perez-Garcia remains subject to any pretrial release conditions, all agree that “there is now no live controversy before our court regarding either the merits of the underlying case or the propriety of the [firearms condition].” Washington v. Trump, 858 F.3d 1168, 1169 (9th Cir. 2017) (Berzon, J., concurring in the denial of reconsideration en banc). And “[i]n our system of government, courts have ‘no business’ deciding legal disputes or expounding on law in the absence of such a case or controversy.” Already, LLC v. Nike, Inc., 568 U.S. 85, 90 (2013) (quoting DaimlerChrysler Corp. v. Cuno, 547 U.S. 332, 341 (2006)). Nevertheless, Fencl and Perez-Garcia filed a petition for rehearing en banc seeking the concededly “unusual remedy” of equitable vacatur. See Dkt. 31, at 3. Today, our court correctly denied the petition.
A single judge of our court dissents from the order denying the petition for rehearing en banc. I join my
colleagues who have voiced concern about these so-called “dissentals,” which often present a “distorted presentation of the issues in the case, creating the impression of rampant error in the original panel opinion although a majority—often a decisive majority—of the active members of the court . . . perceived no error.” Defs. of Wildlife Ctr. for Biological Diversity v. EPA, 450 F.3d 394, 402 (9th Cir. 2006) (Berzon, J., concurring in denial of rehearing en banc); see also Marsha S. Berzon, Dissent, “Dissentals,” and Decision Making, 100 Cal. L. Rev. 1479, 1491 (2012).
The dissent in this case, though, is particularly curious. In a case where—everyone agrees—we lack jurisdiction to rehear the merits of the appeals, one judge has taken it upon himself to write a 61-page advisory opinion. Only about 5 of those 61 pages purport to address the relevant question at hand—what exceptional circumstance, if any, renders en banc review appropriate? The rest details Judge VanDyke’s
I concur in the denial of rehearing en banc, and I write separately to make two brief points. First, this appeal is clearly unworthy of en banc review. Second, the Supreme Court’s recent decision in United States v. Rahimi, 144 S. Ct. 1889 (2024), vindicates the analysis in Perez-Garcia.
I.
The grounds for rehearing en banc are well established. En banc review is limited to circumstances where it is (1) “necessary to secure or maintain uniformity of the court’s decisions” or (2) “the proceeding involves a question of exceptional importance.”
Perez-Garcia does not conflict with any decision of the Supreme Court, this court, or any other circuit court. In concluding that the Bail Reform Act’s firearm condition did not violate the Second Amendment as applied to Perez-Garcia and Fencl, Perez-Garcia addressed a question of first impression. Nor does the opinion present a question of “exceptional importance.”
Nevertheless, Fencl and Perez-Garcia, as well as the dissent, would convene an en banc court for the sole purpose of considering whether to exercise our discretion to grant the remedy of “equitable vacatur.” To my knowledge, we have never done that before, at least not in recent memory. It would have been a particular waste of judicial resources here because the remedy sought—equitable vacatur—could not
possibly affect the parties.1 Yet the dissent argues that “[t]he facts surrounding the panel’s opinion rendered the circumstances exceptional enough to warrant vacating it” and offers two “exceptional” circumstances making the case en banc worthy. See Dissent from Denial of En Banc at 64.
First, the dissent says that the panel “went out of its way to needlessly analyze the history of disarming ‘dangerous’ individuals.” See id. We “did not have to do so,” it goes on, because we had already concluded that the Bail Reform Act’s firearm condition, as applied to Fencl and Perez-Garcia, is consistent with a historical tradition of subjecting criminal defendants to temporary restrictions on their liberty. See id.
The use of alternative holdings, however, is not a reason to convene an en banc court. As we have repeatedly explained, “[a]lternative holdings are a common practice that prevents the overconsumption of adjudicative resources.” Bahr v. Regan, 6 F.4th 1059, 1071 n.12 (9th Cir. 2021) (quoting Container Stevedoring Co. v. Dir., Office of Workers Comp. Programs, 935 F.2d 1544, 1549 n.5 (9th Cir. 1991)). Consistent
(3) historical surety laws restricting the gun rights of people accused of posing a threat.” And Appellants forcefully contested all three grounds. The three-judge panel opinion simply agreed with the Government’s position. Nothing about the use of alternative holdings warrants en banc review.2
Second, the dissent argues that Perez-Garcia cited certain historical sources that did not appear in the Government’s brief. See Dissent from Denial of En Banc at 65. This was improper, it contends, because under Bruen the Government bore the burden of justifying its application of the firearm condition to Fencl and Perez-Garcia as consistent with our nation’s historical tradition of firearm regulation. See New York State Rifle & Pistol Ass’n, Inc. v. Bruen, 597 U.S. 1, 24 (2022).
The dissent is incorrect and, in any event, fails to raise an en banc-worthy issue. In concluding that the Government met its burden of showing that Fencl’s and Perez-Garcia’s temporary disarmament was consistent with our nation’s historical tradition of firearm regulation, Perez-Garcia
addressed the same categories of laws that the Government cited in its brief (e.g., founding-era sources such as English laws, American laws restricting gun possession by various groups, and American laws allowing disarmament for certain types of conduct, like affray and surety statutes); addressed sources that were discussed in articles cited in the Government’s briefs (e.g., Joseph G.S. Greenlee, The Historical Justification for Prohibiting Dangerous Persons from Possessing Arms, 20 Wyo. L. Rev. 249, 263 (2020)); and addressed sources cited in Bruen, District of Columbia v. Heller, 554 U.S. 570 (2008), or both (e.g., the English Bill of Rights, convention proposals). See Perez-Garcia, 96 F.4th at 1186–91.
Where the opinion cited other historical sources, it was appropriate to do so. At the end of the day, whether a given regulation is consistent with the Second Amendment is a question of law. See United States v. Chovan, 735 F.3d 1127, 1131 (9th Cir. 2013), abrogated on other grounds by Bruen, 597 U.S. at 17; United States v. Oliver, 41 F.4th 1093, 1097 (9th Cir.), cert. denied, 143 S. Ct. 503 (2022); see also Does v. Wasden, 982 F.3d 784, 793 (9th Cir. 2020) (noting the “longstanding principle” that “when an issue or claim is properly before the court, the court is not
underpinning Appellants’ Second Amendment claims is not an exceptional circumstance warranting en banc review.
II.
The vast majority of the dissent details Judge VanDyke’s critiques of the merits of the Perez-Garcia opinion. See Dissent from Denial of En Banc at 21–66. The dissent raises various points but basically chides the opinion for drawing historical analogies that, in his view, are too broad or too vague.
I hesitate to spend time relitigating the merits of Perez-Garcia because “[i]t is simply not an ‘exceptional circumstance[]’ justifying the ‘extraordinary remedy of vacatur’ that members of our court disagree with a panel opinion.” Washington, 858 F.3d at 1169 (Berzon, J., concurring in the denial of reconsideration en banc) (quoting U.S. Bancorp Mortg. Co. v. Bonner Mall P’ship, 513 U.S. 18, 26, 29 (1994)). Fencl and Perez-Garcia raised similar arguments about the level of generality Bruen requires, which the opinion addressed at length. See Perez-Garcia, 96 F.4th at 1184–86, 1189–91. Two points, however, bear mentioning.
First, the Supreme Court’s recent decision in Rahimi vindicated our conclusion that the firearm condition as applied to Fencl and Perez-Garcia fits within the Government’s proffered historical tradition of “disarming people whose possession of firearms would pose an unusual danger, beyond the ordinary citizen, to themselves or others.” Id. at 1189. As the Court explained in Bruen, “whether modern and historical [firearm] regulations impose a comparable burden on the right of armed self-defense and whether that burden is comparably justified are central considerations when engaging in an analogical inquiry.”
597 U.S. at 29 (internal quotation marks omitted). Applying Bruen’s analogical approach in Perez-Garcia, we found the firearm condition consistent with why legislatures have traditionally regulated Second Amendment rights because the condition was specifically designed to disarm those whose possession of firearms would pose an unusual danger to the community. See Perez-Garcia, 96 F.4th at 1189 (citing
The Supreme Court took the same approach in Rahimi. The question there was whether a federal statute prohibiting an individual subject to a domestic violence restraining order from possessing a firearm
Citing surety laws and affray laws banning the offense of arming oneself to terrify the public, Rahimi identified a historical tradition of “disarm[ing] individuals who present a credible threat to the physical safety of others.” See id. at 1902, 1899–1901. The Court held that the federal statute at issue,
tradition,” id. at 1897, because it “does not broadly restrict arms use by the public generally,” “applies only once a court has found that the defendant ‘represents a credible threat to the physical safety’ of another,” and was “temporary” as applied to the defendant. See id. at 1901–02 (quoting
The dissent also challenges the three-judge panel opinion’s conclusion that applying the condition to Fencl and Perez-Garcia “is justified by our nation’s history of disarming criminal defendants facing serious charges pending trial.” Perez-Garcia, 96 F.4th at 1182. None of the dissent’s proffered “exceptional circumstances” warranting en banc review (i.e., alternative holdings and extra citations) apply to this specific holding. Regardless, the dissent’s critique cannot be squared with Rahimi.
Perez-Garcia explained that the modern practice of disarming criminal defendants facing serious charges
pending trial comes from three separate but related founding era practices: (1) most serious crimes were eligible for capital charges; (2) the government had the power to detain defendants indicted on capital charges; and (3) once detained, criminal defendants were completely disarmed. See id. As the opinion explained, the historical record shows that Anglo-American legislatures have long retained the power to detain and disarm for even nonviolent crimes like forgery, horse theft, and running away with a ship or vessel, or any goods or merchandise to the value of fifty dollars. See id. at 1183–84 (collecting sources). We concluded that temporarily disarming Fencl and Perez-Garcia today for, respectively, facing seventy years’ imprisonment for serious felony offenses related to violating gun safety laws and importing kilograms of fentanyl and methamphetamine, is fully consistent with that historical tradition. See id. at 1185.
The dissent basically argues that Perez-Garcia applied the wrong level of generality. In its view, “the scope of ‘serious crimes’ is . . . too broad to be analogous to the specific crimes the Founders made punishable by death.” See Dissent from Denial of En Banc at 38. Under this reading of the Second Amendment, Fencl and Perez-Garcia cannot be temporarily disarmed pending their felony trials because “[n]either of them is alleged to have committed a capital crime [a]nd nor are
Rahimi thoroughly discredited this line of reasoning. In that case, “the Government ha[d] not identified a founding-era or Reconstruction-era law that specifically disarmed domestic abusers,” Rahimi, 144 S. Ct. at 1904 (Sotomayor, J., concurring), and yet the Supreme Court still had “no trouble” finding Section 922(g)(8) sufficiently analogous to
the founding era regimes of surety and affray laws. Id. at 1902. In so doing, the Supreme Court clarified an important methodological point that bears repeating here: rather than asking whether a present-day gun regulation has a specific historical analogue, courts must instead consider “whether the challenged regulation is consistent with the principles that underpin our regulatory tradition.” Id. at 1898 (emphasis added). As the concurrences explained, requiring overly specific historical analogues, as the dissent would, “forces 21st-century regulations to follow late-18th-century policy choices, giving us ‘a law trapped in amber,’” and mistakenly “assumes that founding-era legislatures maximally exercised their power to regulate.” Id. at 1925 (Barrett, J., concurring); see also id. at 1904–06 (Sotomayor, J., concurring).
In light of Rahimi, disarming Fencl and Perez-Garcia pending trial for their felony offenses is fully consistent with the historical practice of temporarily disarming those accused of serious but nonviolent crimes. Our court was right to conclude that both substantively and procedurally, this appeal does not warrant en banc review.
VANDYKE, Circuit Judge, dissenting from the denial of rehearing en banc:
For a majority of the judges on the Ninth Circuit, “any loss in a Second Amendment challenge at the Supreme Court is celebrated as a tool to further our artificial cabining of Bruen.” Duarte v. United States, 108 F.4th 786, 788 (9th Cir. 2024) (VanDyke, J., dissenting from the grant of rehearing en banc). Now, barely weeks after I levied this pointed charge in my Duarte disgrantle, our circuit seems
determined to prove I’m right. The court not only declines to vacate a lengthy, deeply flawed, and wholly unnecessary Second Amendment opinion issued long after the defendants’ constitutional challenges became moot. It also piles on even more advisory commentary in a concurral, this time about United States v. Rahimi, 144 S. Ct. 1889 (2024)—a decision released months after the panel issued its opinion—and what Rahimi means for the analogical approach required by Bruen moving forward.
The observation I have made repeatedly in cases like this keeps being validated: our circuit is “more interested in sidestepping than following the [Supreme] Court’s Second Amendment precedent” by “latch[ing] onto phrases” and “conveniently overlooking such bothersome details like the government’s burden of supplying relevantly similar historical analogues.” Duarte, 108 F.4th at 788 (VanDyke, J., dissenting). Add this case to the top of the list. This latest effort stems from a particularly enticing opportunity for Second Amendment shenanigans, as the panel first rushed to issue a terse, unreasoned order affirming the district court. That order deliberately moot-proofed the panel’s ability to issue what was effectively, if not technically, an advisory opinion long after subsequent events overtook the defendants’ claims. More than a year later, the panel then made the most of the opportunity it had generated for itself, announcing as much new law as possible in a moot case where it was wholly unnecessary to do so, and then using mootness as a shield to argue against en banc review. Judge Reinhardt would be proud.
First, I must say I respect the feisty energy emanating from my concurring colleagues’ attempted pushback. But there is that thing about living in glass houses and throwing rocks. Consider what the panel did here: (1) it took the highly unusual step of quickly issuing a summary decision in a case that was likely to become moot, which served no discernable purpose except to ensure the panel could still issue its opinion long after doing so became unnecessary; (2) it later issued that lengthy and needless opinion notwithstanding the fact that everyone—including the panel—agreed the case was moot; (3) it unnecessarily provided redundant alternative rationales in its opinion deciding important Second Amendment issues in this circuit that could have far-reaching effects well beyond just this moot case; and (4) it deliberately reached outside the history and resources provided by the government in this case in an obvious attempt to help the government meet its burden rather than hold the government to it. That many off-panel members of the court now gratuitously rush to signal their agreement with the panel’s gratuitous legal reasoning in a concurral strangely criticizing my disagreement as gratuitous really deepens the irony. Projection, anyone?
The panel’s layers of overreaching would alone be cause for concern even if it had nonetheless gotten the law right. But it instead applied a very flawed historical analysis. Showing that is the principal point of this dissental. Given that purpose, are my colleagues correct that it’s wholly unnecessary, or unnecessarily long?
I wish it was unnecessary, or at least shorter. But if I’m correct that the panel’s gratuitous decision is deeply flawed and will propagate similar errors in future cases, then it’s hardly unnecessary to point that out. That is a key purpose
for calling cases en banc, and for dissenting when our court fails to heed that call.
And while the length of this dissental is certainly unfortunate, it’s the necessary result of two factors. First, the panel needlessly provided multiple deeply flawed alternative analyses in an extended opinion of its own spanning nearly 50 pages. And second, after Bruen, a proper historical analysis in Second Amendment cases simply cannot be done cursorily. My colleagues are of course entitled to disagree with my historical analysis. But nowhere do they even attempt to explain how I could demonstrate that the panel’s lengthy decision is not just unnecessary, but also egregiously wrong, without a similarly lengthy historical analysis.
Stripped of this strange and misguided attempt to discredit my dissental as too historically detailed, the concurral’s only other explanation for why en banc review was unwarranted is that Rahimi has now blessed the panel’s highly generalized analogical approach. Bingo. That, folks, cuts through all the deflection and zeroes in on the real disagreement between me and the panel.
The panel and a majority of our court thinks Rahimi allows historical analogizing at a high level of generality: a court should extract certain “principles” from historical “analogues,” and then ask if those generalized principles are somehow implicated in this particular case. But such an approach allows judges to uphold basically any gun regulation or ban, because, as illustrated by the panel’s opinion here, highly generalized principles like “dangerousness” and “responsibility” can easily be extracted from almost any historical law and then just as easily applied to justify effectively anything. As at least one Supreme
Court
For judges looking for a way to fill the void in judicial discretion left by Bruen’s elimination of interest-balancing, this highly generalized approach to historical analogizing is the best game in town. And as my colleagues’ concurral helpfully demonstrates, many judges of this court view Rahimi as a license to over-generalize to their hearts’ content. I already explained in my Duarte disgrantle why that’s wrong, and I expand on that in my historical analysis below. And my Duarte disgrantle did warn that this court would “joyride Rahimi . . . like a stolen Trans Am” in the inevitable Second Amendment firefight to come. Duarte, 108 F.4th at 788 (VanDyke, J., dissenting). Barely a few weeks have passed, and my colleagues are already taking their new whip out for a spin in their concurral. More extended rides will undoubtedly follow soon.
I urge readers to review the panel’s wholly unnecessary opinion in this case—along with the concurral’s mostly diversionary attempt to defend it—and compare it to the historical analysis in my dissental. If, in your view, the panel’s opinion looks like how the Supreme Court expected lower courts to apply Bruen and Rahimi, then maybe, as the panel and a majority of our court would like everyone to think, there is nothing to see here. But if not, well, don’t say I didn’t warn you.
I.
While much of my colleagues’ concurral is misguided, it is at least correct to observe that my dissental is long. Of course, I wouldn’t have to write such a lengthy critique if my colleagues had taken this moot case en banc and vacated the panel’s original lengthy opinion. But here we are. So for those without the bandwidth to read my historical analysis below in full, I offer the following summary:
This case presented the question of whether defendants Perez-Garcia and Fencl could be disarmed while on pretrial bail consistent with our nation’s tradition of firearm regulation. The panel provided a characteristic answer to that question with uncharacteristic haste, entering a four-sentence order denying relief to both defendants on the same day as oral argument. Such unreasoned, placeholder orders are very rare because our court almost always issues a final disposition in a case only after finalizing and simultaneously releasing the reasoned decision—generally many months after oral argument for a published opinion. One can imagine unusual circumstances in which extraordinary action like the panel’s might be necessary—when, for example, a panel concludes it must immediately change the status quo but fears the case will be overtaken by events while it drafts its opinion. But that’s not what happened here. Here, the panel’s order merely affirmed the district court’s decision, which denied relief to the defendants and did not alter the status quo. Absent any other reasonable explanation, the only motive I can surmise for the panel’s unusual approach was a desire to effectively moot-proof its ability to later issue an opinion—and make lots of new law in a controversial area—notwithstanding the predictable intervening mootness that followed.
After immediately moot-proofing the case, the panel then took its sweet time, finally providing its (lengthy) reasoning in an unnecessary opinion issued
The panel didn’t just reach to decide unnecessary issues in a moot case—it also gratuitously stretched to help the government meet its burden and support the panel’s desired outcome. The Supreme Court has been clear that the burden of introducing historical analogues to justify an arms regulation is on the government. See Rahimi, 144 S. Ct. at 1897 (“[W]hen the Government regulates arms-bearing conduct, … it bears the burden to ‘justify its regulation.’” (citation omitted)); N.Y. State Rifle & Pistol Ass’n, Inc. v. Bruen, 597 U.S. 1, 24 (2022) (“The government must … justify its regulation by demonstrating that it is consistent with the Nation’s historical tradition of firearm regulation.”). But much of the history relied upon by the panel was not supplied by the government in this case. And in the course of deciding more than it needed to and improperly aiding the government in meeting its burden of justification, the panel introduced egregious errors into our Second Amendment
jurisprudence: it analyzed the history at such a high level of generality that it essentially returns us to the dark old days of interest-balancing.
The first of the panel‘s redundant analyses relied on a tradition of detaining capital defendants before trial. To apply that tradition to Perez-Garcia and Fencl, the panel transformed this tradition into one of detaining anyone charged with a “serious crime” through the assumption that at the Founding “most serious crimes were capital.” United States v. Perez-Garcia, 96 F.4th 1166, 1182 (9th Cir. 2024). But the history shows that the Founders generally limited capital punishment to violent crimes (like murder) or crimes against the United States (like treason). Even if most serious crimes were capital (they weren‘t), a tradition associated with most serious crimes cannot automatically be imported to all serious crimes—particularly since the Founders left many serious crimes punishable only by fines or imprisonment. And even if the tradition associated with capital crimes could be wholesale attributed to “serious crimes,” the panel never offers a coherent theory for what today constitutes an analogous “serious crime” for these purposes, leaving us in a position where we effectively defer to legislative decisions about who can have their
The panel‘s second—and wholly superfluous—analysis looked at the tradition of disarming “dangerous” individuals. Again, the panel gratuitously supplied much of its own historical support, essentially assuming for itself the government‘s burden of justification. That alone was error. See Bruen, 597 U.S. at 19 (“[T]he government must affirmatively prove that its firearms regulation is part of the historical tradition that delimits the outer bounds of the right to keep and bear arms.“); Baird v. Bonta, 81 F.4th 1036, 1041 (9th Cir. 2023) (“A district court should not try to help the government carry its burden by sifting historical materials to find an analogue.” (cleaned up)).
But even considering the historical tradition as a whole—including information never provided by the government—the panel further erred in characterizing that history as “support[ing] the view that the
The panel opinion is therefore rife with methodological errors—all of which were unnecessary to deciding the case. While mootness has deprived our court as a whole of the ability to fix the panel‘s merits analysis, we still retained authority to take this erroneously and unnecessarily decided case en banc “for the purpose of vacating [the] decision.” United States v. Payton, 593 F.3d 881, 886 (9th Cir. 2010). Given the panel‘s overreach, supplementation of the government‘s historical justification, and egregious jurisprudential errors, we should have exercised our discretion to do just that. Had the panel upheld a party‘s
II.
Jesus Perez-Garcia is a former security guard who was licensed to carry a gun in California and was required to carry a gun while working. Perez-Garcia also prefers to keep a gun with him at home because he lives in a high-crime area and wants to protect his family while his father is out working night shifts.
In June 2022, Perez-Garcia was a passenger in his friend‘s car as the two returned from a trip to Mexico. After drugs were found in the bumper of the car, Perez-Garcia was charged with knowingly importing a controlled substance pursuant to
Following Perez-Garcia‘s indictment, a Magistrate Judge ordered that, under Standard Condition #4, a condition of pretrial release authorized under
John Fencl is a mobile truck repairman and collector of guns. Fencl has lived in El Cajon, California for the last 13 years. As part of his job, Fencl frequently travels to distant rural areas, carrying a gun with him for safety and peace-of-mind. Fencl has a Utah concealed-carry license, but not a California one. After being arrested in September 2019 for possessing a concealed gun in California without a license, Fencl pleaded guilty to carrying a firearm without a permit, resulting in a misdemeanor conviction.
In June 2021, police entered Fencl‘s home, searching the premises and seizing 110 guns. The government does not dispute that almost all these guns were legally owned. But the officers also discovered three unlicensed short-barrel rifles and four unlicensed suppressors. Fencl was later indicted under federal law for the possession of these unregistered firearms and suppressors. He was granted pretrial release with the same firearm condition as Perez Garcia, with the additional requirement that he could not possess “gun parts.”
After the Supreme Court released its decision in Bruen, both Perez-Garcia and Fencl challenged the constitutionality of the firearm condition as applied to them. The magistrate judges in both cases rejected the challenges, and the defendants subsequently sought review in the district courts.
In Perez-Garcia‘s case, the district court reasoned that the firearm condition was acceptable because the condition was presumptively lawful and was analogous to historical surety statutes regarding potential affrayers—a class Perez-Garcia would be comparable to as an accused drug trafficker who, in the district court‘s view, was likely to pose future danger. In Fencl‘s case, the district court reasoned that analogues to historical traditions regarding surety statutes and pretrial detention, coupled with the view that the
In January 2023, our court issued a short order summarily affirming the district court‘s reasoning. Id. Fourteen months later in March 2024, the panel explained its reasoning in a follow-on opinion. Perez-Garcia, 96 F.4th at 1174-92.
Between the issuance of the order and the panel opinion, the defendants “moved to dismiss their appeals as moot after [our court] ruled against them but before [the panel] provided [its] reasoning” because “Fencl was convicted at trial and Perez-Garcia‘s bond was revoked for repeatedly failing to appear for hearings.” Id. at 1172. Therefore, the defendants argued that the panel “lack[ed] jurisdiction to explain [its] dispositive order because their challenges to their pretrial release conditions [were] moot.” Id. The panel rejected this request, determining instead that when “mootness arises after a ‘valid decision’ has already been rendered,” federal courts may still issue an opinion if “equitable and pragmatic considerations” demand that they do so. Id. at 1173 (internal citations omitted). The panel reasoned that its opinion was justified because (1) the issue becoming moot
On the merits, the panel determined that the firearm condition‘s application to the defendants did not violate their
To support its determination, the panel first considered our historical tradition of detaining capital defendants before trial. Id. at 1182. The panel reasoned that since “most serious crimes were eligible for capital charges,” “the government ... usually ... detain[ed] ... defendants indicted on capital charges.” Id. “[O]nce detained, criminal defendants were completely disarmed,” allowing those charged with serious crimes to be disarmed pretrial consistent with that tradition. Id. The panel rejected the contention that the government was required to “identify a historical regulation under which Perez-Garcia and Fencl, specifically, would have been disarmed pending pretrial release in the 18th century.” Id. at 1185. Instead, the panel concluded that because the defendants faced felony charges, they “undoubtedly were charged with serious crimes” such that they would have been subject to pretrial detention—and therefore disarmament—at the Founding. Id. at 1184-85. The panel thus determined that the tradition of pretrial detention for capital defendants alone sufficiently justified the application of the firearm condition to Perez-Garcia and Fencl.
Having already unnecessarily provided one rationale for its long-moot summary order, the panel nonetheless went on to conduct a second—and thus doubly unnecessary—historical analysis. The panel considered the tradition of disarming “dangerous” individuals and determined there was “a lengthy and extensive Anglo-American tradition of disarming individuals who are not law-abiding, responsible citizens.” Id. at 1186. In support of this conclusion, the panel cited a history that included the English Bill of Rights, the colonial disarmament of Catholics and Loyalists, affray laws, surety laws, and pre-ratification proposals for the
The panel therefore concluded—on two separate bases—that the “firearm condition on pretrial release is constitutional as applied to Fencl and Perez-Garcia.” Id. at 1191. The defendants filed a joint petition for vacatur, rehearing, or rehearing en banc, requesting that the panel opinion in their moot cases be vacated.
III.
In assessing pretrial-release conditions, we review factual findings for clear error, “[b]ut the conclusions based on such factual findings present a mixed question of fact and law and require the exercise of sound judgment as to the values underlying the legal principles.” United States v. Townsend, 897 F.2d 989, 994 (9th Cir. 1990). Therefore, “we make an independent examination of the record to determine whether the ... order is consistent with the defendant‘s constitutional ... rights and arrive at our conclusion de novo.” Id.
IV.
The panel‘s opinion contains profound substantive errors that will potentially reach well beyond just the pretrial disarmament question that was presented in this case. But that‘s not the only reason we should have vacated the opinion en banc. What makes the panel‘s opinion particularly troubling is that it went out of its way to decide an unnecessary issue with potentially broad implications in a moot case. The panel needlessly analyzed our tradition of disarming “dangerous” individuals shortly before Rahimi was poised to do the same. The Supreme Court has since decided Rahimi, analyzing a similar history, and leaving litigants and lower courts to wonder how much of the panel opinion‘s dangerousness analysis survives Rahimi. In performing this gratuitous analysis, the panel improperly helped the government meet its burden of justification by supplementing the historical record. See Rahimi, 144 S. Ct. at 1897 (reemphasizing the government “bears the burden to ‘justify its regulation‘” of arms) (citation omitted)); United States v. Sineneng-Smith, 590 U.S. 371, 375 (2020) (“In our adversarial system of adjudication, we follow the principle of party presentation.“). On top of all that, the panel erred in its analysis.
We should have taken this case en banc for the limited purpose of vacating the panel‘s opinion. Doing so would have been appropriate to wipe the slate clean for another case—one in which the government, not the panel, carried the government‘s burden—to resolve the historical analogy analysis and determine how Rahimi affects our existing caselaw. By electing not to do so, the panel‘s opinion injects many substantive errors into our jurisprudence.
A.
The Supreme Court in Bruen gave us the standard we are required to follow in
Like the panel, I have no difficulty concluding that Perez-Garcia and Fencl are part of “the people” within the scope of the
1.
The first consideration in any
Thankfully, the Supreme Court has already spoken to the plain facial meaning of the text. The reference to arms “extends, prima facie, to all instruments that constitute bearable arms.” District of Columbia v. Heller, 554 U.S. 570, 582 (2008) (emphasis added); see also Jamie G. McWilliam, The Relevance of “In Common Use” After Bruen, 37 Harv. J.L. & Pub. Pol‘y Per Curiam 1, 7 (2023) (concluding that the
In analyzing the scope of “the people,” the Court has noted that “in all six other provisions of the Constitution that mention ‘the people,’ the term unambiguously refers to all members of the political community, not an unspecified subset.” Id. at 580. The Court therefore concluded that there is “a strong presumption that the
Reading “the people” to include all Americans as a matter of plain text does not foreclose that there may also be limitations on who can exercise their
2.
“[T]he appropriate analysis [in a
a.
The government first offered the panel a historical tradition of denying bail to capital defendants. The Northwest Ordinance, originally passed by the Congress of the Confederation and reaffirmed by the first Congress, declared that “[a]ll persons shall be bailable, unless for capital offenses.” Northwest Ordinance of 1787, 18 Stat. 13, 15; Northwest Ordinance of 1789, 1 Stat. 50, 51. Similarly, the first Congress, in the
The colonies, and subsequently the states, took a similar approach around the time of the Founding. For example, in 1641 the Massachusetts Colony created an unequivocal right to bail, except in capital cases. Massachusetts Body of Liberties, art. 18 (1641) (“No mans person shall be restrained or imprisoned by any Authority what so ever, before the law hath sentenced him thereto, [i]f he can put in sufficient securitie, bayle, or mainprise, for his appearance, and good behaviour in the meane time, unlesse it be in Crimes Capitall ....“). Pennsylvania adopted a similar provision in its 1682 constitution: “all Prisoners shall be Bailable by Sufficient Sureties, unless for capital Offenses ....” June Carbone, Seeing Through the Emperor‘s New Clothes: Rediscovery of Basic Principles in the Administration of Bail, 34 Syracuse L. Rev. 517, 531 (1983). Following independence, “the Pennsylvania provision became the model for almost every state constitution adopted after 1776.”
So there was a tradition of denying bail to capital defendants around the time of the Founding. And since these defendants were jailed pretrial, they were necessarily disarmed pretrial. But at this point, one might wonder what a tradition of denying bail to capital defendants has to do with a defendant who allegedly possessed several unregistered weapons, or one who allegedly smuggled illegal pharmaceutical substances. This is where the panel performs
But the history does not bear this assumption out. For example, the very year after the Judiciary Act denied bail to capital defendants, the first Congress defined over twenty crimes in The Crimes Act of 1790, only seven of which were punishable by death. Act of Apr. 30, 1790, ch. IX, §§ 1-28, 1 Stat. 112, 112-18. Non-capital, yet serious, crimes included manslaughter, misprision of treason, mayhem (the intentional maiming of another person), and larceny.
Shortly after the Founding, a movement began that eventually narrowed the list of capital crimes to “murder alone, or murder and rape in some states.”
respectively. John D. Bessler, The Death Penalty in Decline: From Colonial America to the Present, 50 Crim. L. Bull. 245, 258 (2014). Therefore, even assuming there is a tradition of denying bail to capital defendants, the historical evidence belies the panel‘s necessary link in its analysis that “most serious crimes were eligible for capital charges.” Perez-Garcia, 96 F.4th at 1182.
Even if most serious crimes were capital, that does not mean a tradition associated with capital crimes could be automatically imported to all serious crimes—particularly when the Founders specifically chose to make certain serious crimes non-capital. In Bruen, to elucidate what was too dissimilar to constitute a valid historical analogue, the Supreme Court examined the tradition of prohibiting weapons in sensitive places. 597 U.S. at 30-31. The Court first evaluated historical laws banning weapons in places like “legislative assemblies, polling places, and courthouses.” Id. at 30 (citing David B. Kopel & Joseph G.S. Greenlee, The “Sensitive Places” Doctrine: Locational Limits on the Right to Bear Arms, 13 Charleston L. Rev. 205, 229-36, 244-47 (2018)). The Court explained that “[a]lthough the historical record yields relatively few 18th- and 19th-century ‘sensitive places’ where weapons were altogether prohibited ... [it was] also aware of no disputes regarding the lawfulness of such prohibitions.” Id. It therefore concluded that “courts can use analogies to those historical regulations of ‘sensitive places’ to determine that modern regulations prohibiting the carry of firearms in new and analogous sensitive places are constitutionally permissible.” Id.
The Court then turned to the respondents’ attempted characterization of New York‘s proper-cause licensing requirement as a “sensitive places” law. Id. In essence, the respondents in Bruen broadly described sensitive places as those “where people typically congregate and where law-enforcement and other public-safety professionals are presumptively available.” Id. at 30-31. The Court reasoned that while people often congregate in sensitive places and law enforcement professionals are presumptively available in those locations, applying the tradition associated with sensitive places to all locations that fit those two characteristics expanded it “far too broadly.” Id. at 31. Such a reading would “in effect exempt cities from the
Similar reasoning suggests that a tradition associated with capital crimes cannot be expanded to all serious crimes. Even though Bruen recognized that legislatures historically had the power to define certain
Indeed, the Supreme Court‘s rejection in Bruen of attempts to broadly analogize to historical “sensitive places” would seem to apply a fortiori to attempts to analogize to disarmament associated with capital crimes. For more than a half-century, the Supreme Court has acknowledged what common sense supports: “that the penalty of death is different in kind from any other punishment imposed under our system of criminal justice.” Gregg v. Georgia, 428 U.S. 153, 188 (1976) (opinion of Stewart, J.) (discussing Furman v. Georgia, 408 U.S. 238 (1972)). You would think that more than mere ipse dixit would be required before relying on historical pretrial disarmament associated with capital crimes as a justification for pretrial disarmament of those charged with non-capital crimes.
Finally, even if the tradition of disarming capital defendants pretrial could be applied to all defendants charged with serious crimes, the panel has not identified a coherent theory for what constitutes a “serious crime” within the meaning of this tradition. Consider a few hypotheticals: Al Capone, who was charged with tax evasion. A pimp, who runs an illegal prostitution ring. A husband, who physically maims his wife. Are these “serious crimes?” Nothing in the panel‘s opinion helps. The last one, the most violent example, was explicitly left non-capital by the Founders. Act of Apr. 30, 1790, supra, ch. IX, § 13.
In some places, the panel appears to suggest that serious crimes are those categorized as felonies. See Perez-Garcia, 96 F.4th at 1184 (“[D]efendants in the founding era who faced serious charges were not released because those indicted on capital charges were not offered bail, and most felonies were capital offenses.“). In characterizing Perez-Garcia and Fencl‘s crimes as “serious crimes,” the panel relied heavily on the “felony” label applied to those crimes. Id. at 1185. But the Supreme Court in Bruen, 597 U.S. at 26, rejected such judicial deference to legislative interest-balancing in the
That approach once again makes the
Similarly, the Supreme Court has stated that “fighting words” may be proscribed within the bounds of the
Courts do not generally defer to legislative label-making when constitutional rights are at stake. Instead, they look to the specifics of the case to judicially determine whether it satisfies the substance of the standard that is applied. This is true in the
at 19, 22, 26 (rejecting reliance on interest-balancing). Instead, the Supreme Court has given us the standard for considering whether the substance of a defendant‘s conduct renders him able to be disarmed under this nation‘s history and tradition: whether there is a tradition of disarming analogous groups in a similar manner and for similar reasons. Rahimi, 144 S. Ct. at 1898; Bruen, 597 U.S. at 29. Deference to legislative labels is not part of that test.
The tradition presented by the government and accepted by the panel is one of disarming capital defendants pretrial. As discussed above, after the Founding, states typically reserved capital punishment for severely violent crimes such as murder or rape. Carbone, supra, at 535. And though the federal government made certain crimes capital that we likely would not today—like counterfeiting,
Regarding the “why” of detaining capital defendants—and therefore disarming them—there is some scholarly dispute. Some suggest that their exclusion from bail “was a public-safety measure.” Sandra G. Mayson, Dangerous Defendants, 127 Yale L.J. 490, 502 (2018). One contemporary source explained that bail was not universally allowed so that “the safety of the people should be preserved against the lawless depredations of atrocious offenders.” A. Highmore, A Digest of the Doctrine of Bail: In Civil and Criminal Cases vii (1783). But what appears to be a broader view on the primary justification for denying bail is that capital crimes “involved a greater temptation to flee.” Lawrence H. Tribe, An Ounce of Detention: Preventative Justice in the World of John Mitchell, 56 Virg. L. Rev. 371, 401 (1970). As Highmore further explained in 1783, “no bail can be a security equivalent to the actual custody of the person” charged with a capital offense. Highmore, supra, at 172. Blackstone similarly explained the denial
Turning now to the application of the Act‘s firearm condition to Perez-Garcia and Fencl, the tradition of pretrial detention for capital defendants fails to provide a “relevantly similar” analogue. Bruen, 597 U.S. at 29–30. First, the “how” of the burden on the Second Amendment right is sufficiently dissimilar from the proffered historical tradition that the tradition cannot save the application of the firearm condition to Perez-Garcia or Fencl. At the Founding, the peoples’ Second Amendment rights were burdened by the condition that, if one was alleged to have committed a capital crime, he could be temporarily disarmed before trial.
The Act‘s firearm condition, particularly as applied to Perez-Garcia and Fencl, is much broader. Neither of them is alleged to have committed a capital crime. Nor are their crimes analogous to Founding-era capital crimes. Again, at the Founding, essentially all federal capital crimes were either violent or crimes against the United States.
In comparison, Perez-Garcia was charged with two counts of importing controlled substances. This crime is not immediately violent, nor is it a crime against the United States like treason or counterfeiting. Allowing Perez-Garcia to be disarmed through a sloppy comparison of his crime to historical capital crimes would essentially open the door to disarming any defendant who has been charged with any crime. See Rahimi, 144. S. Ct. at 1926 (Barrett, J., concurring) (“[A] court must be careful not to read a principle at such a high level of generality that it waters down the right.“). Again, this opens wide the back door to legislative interest-balancing, since a legislature could easily legislate around the Second Amendment simply by creating new crimes (solemnly labeled “serious,” of course) that would per se allow those charged with them to be disarmed—regardless of their similarity to the actual Founding-era capital crimes that triggered disarmament.
Further, the Court in Bruen explained it is relevant if the Founders were aware of the same societal problem yet addressed it through different means. 597 U.S. at 26–27. Although addictive substances were known and used in the years surrounding the Founding,2 “there was virtually no effective regulation of narcotics in the United States” until the twentieth century. David T. Courtwright, A Century of American Narcotic Policy 1 (Institute of Medicine, 1992).
Perez-Garcia‘s conduct was not criminal at all at the Founding, much less punishable by death. While we need not identify a “historical twin” to justify this regulation, the fact that the Founders were aware of the same issues surrounding Perez-Garcia‘s conduct that exist today but did not disarm those engaged in such conduct is strong evidence
Similar issues arise in applying the condition to Fencl. He was charged with possessing three unlicensed short-barrel rifles and four unlicensed suppressors. Beyond simply characterizing both as “serious,” the panel never explained how mere possession of unlawful firearms is at all similar to the capital crimes meriting disarmament at the Founding era. There is little to compare the two except the fact that both the Founding-era capital crimes and the possession of the unregistered arms are crimes. The Founders were aware of issues surrounding armed violence, but typically resolved these problems through regulations on the manner of carrying, rather than simple possession. As two scholars recently concluded, “[f]rom 1607 through 1899, American bans on possession or sale to adults of particular arms were uncommon.” David B. Kopel & Joseph G.S. Greenlee, The History of Bans on Types of Arms Before 1900, 50 J. Legis. 223, 369 (2024). Our tradition of not criminalizing the mere possession of certain arms is strong evidence that the tradition of disarming those charged with capital crimes cannot be applied to those charged with mere possession of unregistered firearms.
Ultimately, disarming Perez-Garcia and Fencl before their trials is a much broader burden on their Second Amendment rights than can be supported by the narrow tradition of imprisoning (and thus disarming) those charged with capital crimes. Under that historical tradition, the people‘s rights were burdened by a condition that they could be temporarily disarmed if they were charged with a capital crime. The firearm condition, as applied to Perez-Garcia and Fencl, essentially acts as a condition that they could be disarmed if charged with any crime where a judge finds the condition necessary. This extreme broadening of the scope of disarmament has no historical support, and therefore the “how” of the disarmament is dissimilar to the tradition of disarming capital defendants.
Second, the “why” of the burden on Perez-Garcia and Fencl‘s Second Amendment rights is not analogous. The Act allows imposing the “least restrictive … condition” determined to “reasonably assure the appearance of the person as required and the safety of any other person and the community.”
In sum, there are a number of issues with the panel‘s first historical analysis that warrant vacating the opinion en banc. The panel accepted a tradition of disarming capital defendants before trial. But the panel erred in concluding that at the Founding most serious crimes were capital.
b.
After concluding that the firearm condition‘s application to Perez-Garcia and Fencl was constitutional as analogous to the tradition of disarming capital defendants before trial, the panel conducted an alternative historical analysis grounded in “our nation‘s history of barring people or groups deemed dangerous or unlikely to respect the sovereign‘s authority from possessing firearms.” Perez-Garcia, 96 F.4th at 1186. Before even considering the substance of that history, there are a number of threshold problems with the panel‘s analysis. First, it was entirely unnecessary. The panel could have rested its decision on the first tradition it considered, but instead went out of its way to analyze a secondary issue that could be more broadly relevant to other Second Amendment issues. And in doing so, the panel foraged broadly, going well beyond what the government provided it in this case, and then misapplied the history it collected on its own to return us to the old regime of deference to legislative interest-balancing. All of this was done in a case that had already become moot—thereby insulating the merits of the opinion from further appellate review and, if necessary, correction.
Before turning to the panel‘s errors, it is helpful to first outline the history on which the panel purports to rely. Namely, “our nation‘s history of barring people or groups deemed dangerous or unlikely to respect the sovereign‘s authority from possessing firearms.” Id. There are two tracks of historical laws that make up this tradition: those that targeted “dangerous” groups, and those aimed at “dangerous” individuals. Many of the specific laws forming this tradition were not supplied by the government in its briefing, and the panel‘s sua sponte creation of a historical record on behalf of the government was improper. See Bruen, 597 U.S. at 19 (“[T]he government must affirmatively prove its firearms regulation is part of the historical tradition.“); Rahimi, 144 S. Ct. at 1897 (emphasizing “the Government … bears the burden to ‘justify its regulation‘” of the Second Amendment right (citation omitted)). But because the panel relied on unbriefed historical laws, I must do so as well to show how the panel misapplied and misanalysed the historical record of its own creation.
i.
First, there are historical laws disarming those who, as a group, were feared to be opposed to the ruling regime and therefore prone to take up arms against it. Such laws originate from pre-colonial England, where they often targeted “those involved in or sympathetic to rebellions and insurrections.” Joseph G.S. Greenlee, The Historical Justification for Prohibiting Dangerous Persons from Possessing Arms, 20
During the following century, England disarmed Catholics because they were considered “potentially disloyal and seditious” to the Protestant Crown. Greenlee, Possessing Arms, supra, at 258 (citation and internal quotation marks omitted). This general disarmament continued until an exception was added in 1689 “‘for the defence of his House or person’ with permission from the justice of the peace.” Id. at 258–59 (quoting 1 W. & M., ch. 15 (1688)). The seventeenth century in England saw a number of rules aimed at disarming “disaffected persons” surrounding the Glorious Revolution—first those thought disloyal to King James II, and then those “perceived as posing a threat to King William III and Queen Mary II” after the revolution. Id. at 259. Indeed, it was the disarmament of Protestants by King James II—“at the same time when Papists were … armed“—that ultimately led to the English Bill of Rights’ protection of “Protestants … hav[ing] arms for their defence” under King William III and Queen Mary II. 1 W. & M., ch. 1, § 6, ch. 2, § 7, in 2 History of the English Parliament 561–62 (1892).
The general tradition of disarming those “who might want to overthrow” the current government was carried over into the colonies. Id. Specifically, during the French and Indian War, there was fear that Catholic colonists would sympathize with the Catholic nation of France. See Jamie G. McWilliam, Refining the Dangerousness Standard in Felon Disarmament, 108 Minn. L. Rev. Headnotes 315, 319 (2024). As one scholar described the situation: “American Protestants worried that their Catholic neighbors were plotting with Catholic France to impose Catholic rule throughout America.” Joseph G.S. Greenlee, Disarming the Dangerous: The American Tradition of Firearm Prohibitions, 16 Drexel L. Rev. 1, 35–36 (2024). And as exemplified by one pseudonymous author in the Pennsylvania Gazette in 1754, some feared “having our Children enslaved by the Church of Rome,” by those “inhuman Butchers,” the Catholics. Philanthropos, Pa. Gazette, Sept. 5, 1754, No. 1341.
Consistent with this sentiment, Maryland enacted a law in 1756 that “all such Armour, Gunpowder, and Ammunition, of whatsoever Kinds, as any Papist … hath … in his House … or elsewhere … shall be taken from such Papist” and imprisoned those who failed to comply. Act of May 22, 1756, in Votes and Proceedings of the Lower House Assembly of the Province of Maryland 95 (1757). In that same year, Virginia likewise enacted a law that “no Papist or reputed Papist … shall or may have or keep … any arms, weapons, gunpowder, or ammunition.” Act of 1756, in 3 Ecclesiastical Statutes at Large 510 (James Thomas Law ed. 1847). Pennsylvania followed suit with a law substantially similar to Maryland‘s. 3 Pennsylvania Archives 131–32 (Samuel Hazard ed. 1853).
Many colonies also enacted firearm laws targeting American Indians based on the history of warfare between the Indians
comprehensive scheme aimed at defending the fledgling colonies from violent encounters with their Indian neighbors. See Greenlee, Disarming the Dangerous, supra, at 29.
Like attacks from neighboring Indians, many in the colonies had an “equivalent fear” of an armed uprising by slaves and free Blacks against the slave-holding regime. Michael A. Bellesiles, Gun Laws in Early America: The Regulation of Firearms Ownership, 1607–1794, 16 L. & Hist. Rev. 567, 581 (1998). In response, many colonies prohibited slaves or even free Blacks from possessing arms. McWilliam, Refining the Dangerousness Standard, supra, at 319–20. In 1639, Virginia provided that all persons were to be armed “except negroes.” Act of January 6, 1639, in 1 The Statutes at Large; Being a Collection of All the Laws of Virginia, from the First Session of the Legislature, in the Year 1619 226 (William Waller Hening ed. 1809). And New York, in 1664, made it unlawful “for any Slave or Slaves to have or use any gun Pistoll sword Club or any other Kind of Weapon whatsoever” unless in the presence of their master. Act of 1664, in 2 The Colonial Laws of New York From the Year 1664 to the Revolution 687 (James B. Lyon ed. 1894). During the eighteenth century, at least Delaware, New York, Maryland, South Carolina, and Georgia similarly regulated the possession of weapons by “any Negro or Mulatto slave.”4
The colonists continued this tradition of disarming those who might essentially be enemy combatants during the Revolutionary War by disarming those who remained loyal to Great Britain. Loyalists posed a serious threat to the revolutionary cause.
Beginning in New York—“a hotbed of loyalism throughout the war“—states began to disarm Loyalists. Greenlee, Disarming the Dangerous, supra, at 53. In 1775, New York‘s Provincial Congress cited “the immutable laws of self-defence” as justification for disarming anyone found guilty of aiding the British military. 3 American Archives ser. 4 573 (Peter Force ed. 1840). Massachusetts, in 1776, disarmed anyone who “fled to the British fleet or army” or aided such fleet or army, or refused to sign a declaration supporting the revolutionary cause. Act of May 1, 1776, in 5 The Acts and Resolves, Public and Private, of the Province of the Massachusetts Bay 479–80, 483–84 (1886) (cleaned up). The next year, Pennsylvania similarly disarmed “every person … refusing or neglecting to take and subscribe [an] oath or affirmation” supporting American independence. Act of June 13, 1777, in 9 The Statutes at Large of Pennsylvania from 1682 to 1801 111–13 (1903). And New Jersey disarmed any person deemed “disaffected.” Act of 1777, in Acts of the General Assembly of the State of New Jersey 90 (1777). These laws are representative of a larger trend of disarming those who might take up weapons with, or otherwise aid, the enemy British combatants.5
After the colonies gained their independence, certain arms restrictions became unnecessary—like those on Catholics, as the colonies were now allied with Catholic France. But other groups were still perceived as dangerous to the fledgling nation. Most notable among these were “slaves and freedmen.” Greenlee, Possessing Arms, supra, at 269. Given the continued prevalence of slaveholding until the Civil War, the specter of an armed slave revolt remained following independence. Indian attacks also remained common, particularly on the Western frontiers. Many states therefore maintained arms restrictions on slaves, Indians, and other groups.
Following the Revolutionary War and into the antebellum period, a number of states continued to regulate the ability of slaves and free Blacks to possess weapons. Alabama law, for example, stated that “[n]o slave shall keep or carry any gun, powder, shot, club, or other weapon whatsoever.” Act of March 6, 1805, in A Digest of the Laws of the State of Alabama 540 (C.C. Clay ed. 1843). Louisiana forbade
Ongoing regulation of arms trading with Indians similarly persisted following independence. In 1796, the fourth Congress made it unlawful for any person to “purchase, or receive of any Indian, in the way of trade or barter, a gun.”
The history therefore reveals that, from pre-colonial England through the antebellum period, there was a tradition of disarming groups deemed to be “dangerous.” See Kanter v. Barr, 919 F.3d 437, 464 (7th Cir. 2019) (Barrett, J., dissenting). But the danger involved in their disarmament was always a very particular one: a violent attack against the community by a group opposed to the current regime. One scholar has summarized the danger posed by these groups:
Catholics might have raised arms alongside the French against Protestant England. The Loyalists may have attacked their fellow colonists during the Revolutionary War. Slaves and Indians may have inflicted violence on the white settlers as revenge for their enslavement or for occupying their land. In each historical scenario, danger meant one thing: a violent attack.
McWilliam, Refining the Dangerousness Standard, supra, at 324–25. In each situation, the group had the potential to act as enemy combatants and as such was feared to take up arms and cause violence against the broader community.
ii.
As the Supreme Court recently noted, “[s]ince the founding, our Nation‘s firearm laws have included provisions preventing individuals who threaten physical harm to others from misusing firearms.” Rahimi, 144 S. Ct. at 1896. Unlike the tradition described above, which disarmed individuals because of their membership in a group that might take up arms against the United States, this other tradition addressed specific actions taken by the individual that were either violent in themselves or gave others reason to fear violence. See id. at 1899–1901 (“From the earliest days of the common law, firearm regulations have included provisions barring people from misusing weapons to harm or menace others.“). These regulations typically took one of two forms: “affray” or “surety” laws.
This English tradition carried on across the Atlantic. The colony of New Hampshire allowed “all affrayers … or any other who shall go armed offensively, or put his Majesty‘s subjects in fear” to be arrested and his arms forfeited. Acts and Laws of His Majesty‘s Province of New Hampshire, in New England 1–2 (1761). Massachusetts punished those “as shall ride or go armed offensively, to the fear or terror of the good citizens of this Commonwealth.” Act of January 29, 1795, in 1 The General Laws of Massachusetts, From the Adoption of the Constitution, to February, 1822 454 (Theron Metcalf ed. 1823). Maine enacted a similar law, targeting “all affrayers … and such as shall ride or go armed offensively, to the fear or terror of the good citizens of this State.” Act of March 15, 1821, in 1 Laws of the State of Maine 353–54 (1821).
Surety laws were similar to affray laws (and indeed were often combined with them). But instead of responding to past offensive uses of a weapon, they were prophylactic measures aimed at “preventing the commission of crimes and misdemeanors.” 4 Blackstone, Commentaries *251. These laws consisted “in obliging those persons whom there is a probable ground to suspect of future misbehavior, to stipulate with and to give full assurance … that such offense … shall not happen, by finding pledges or securities for … their good behavior.” Id. In other words, individuals suspected of future misconduct could be required to post bond, and if the individual then violated the terms of the surety, the bond would be forfeit. Id. at *253.
While surety laws in the English and colonial tradition were used to combat a range of misconduct, a relevant application in early America was to the misuse of firearms. Massachusetts‘s 1795 affray law, described above, was backed by the requirement that “the offender … find sureties for his keeping the peace, and being of the good behavior.” Act of January 29, 1795, 1 The General Laws of Massachusetts, supra, at 454. In 1846, Michigan passed a law requiring surety for “any person [who] shall go armed with a … pistol … on complaint of any person having reasonable cause to fear an injury or breach of the peace.” Act of May 18, 1846, in The Revised Statutes of the State of Michigan, Passed and Approved May 18, 1846, 692 (1846). Oregon passed a substantially similar law in 1853. The Statutes of Oregon, Enacted and Continued in Force by the Legislative Assembly, at the Session Commencing 5th December, 1853 220 (1854). Several other jurisdictions enacted similar laws. See Bruen, 597 U.S. at 56, n.23 (listing other jurisdictions that adopted variations of “breach the peace” firearm laws).
Like the laws described above that targeted groups perceived as dangerous, the danger targeted by affray and surety laws was that “of physical violence.” Rahimi, 144 S. Ct. at 1901. The primary difference is that the group disarmament laws sought to preempt violence committed at the group level, while affray and surety laws targeted violence committed by discrete individuals.
iii.
The panel examined this history of disarming “people or groups deemed dangerous” and extracted the highly generalized principle that those “who are not law-abiding, responsible citizens” can be disarmed. Perez-Garcia, 96 F.4th at 1186. Such a reading stretches the history too far. Each of the historical laws outlined above was focused on one thing: violence. Groups like Catholics, Indians, and slaves were disarmed because of fears that they would engage in a violent attack against the community. Affray and surety laws targeted those who either carried arms offensively or who “pose[d] a clear threat of physical violence to another.” Rahimi, 144 S. Ct. at 1901. To categorize these laws as disarming those who are not “law-abiding” is massively overinclusive—committing violence against others or the community itself is obviously one way to violate the law, but there is also a host of nonviolent ways to break the law. And there were many nonviolent lawbreakers at the Founding who were not disarmed. Instead, disarmament was limited to certain groups, namely, “persons guilty of committing violent crimes, persons expected to take up arms against the government, [and] persons with violent tendencies.” Greenlee, Possessing Arms, supra, at 285.
Nor is “responsibility” the benchmark for valid disarmament. Since the panel issued its decision, the Supreme Court has clarified that “responsibility” is not “a line derive[d] from our case law.” Rahimi, 144 S. Ct. at 1903. Instead, the Court explained that it “used the term ‘responsible’ [in Heller and Bruen] to describe the class of ordinary citizens who undoubtedly enjoy the Second Amendment right.” Id. “But those discussions … said nothing about the status of citizens who were not ‘responsible.‘” Id. This explanation by the Supreme Court highlights why it was imprudent for the panel to conduct its second historical analysis—when it didn‘t have to in order to decide the moot case before it—right before Rahimi was decided.
The panel‘s pivot from “dangerous” to “not law-abiding [or] responsible” illustrates why it is important to have a historically grounded definition of “dangerousness.” See F. Lee Francis, Defining Dangerousness: When Disarmament is Appropriate, 56 Tex. Tech L. Rev. 593, 596–97 (2024). Reading the history at such a high level of abstraction “waters down the [Second Amendment] right” so far that basically any group or individual characteristic could be linked to an ethereal “danger.” Rahimi, 144 S. Ct. at 1926 (Barrett, J., concurring). Under the panel‘s conception, danger essentially becomes whatever lawmakers say it is—but there is a reason the Supreme Court rejected our previous attempts to defer to legislative interest-balancing when an important enumerated right is at stake. See Bruen, 597 U.S. at 26 (warning that interest-balancing is inappropriate when constitutional rights are at stake); Heller, 554 U.S. at 634 (cautioning that a “constitutional guarantee subject to future judges’ assessments of its usefulness is no constitutional guarantee at all“). “Instead of a substantive right guaranteed to every individual against Congress, we would have a right controlled by Congress.” Rahimi, 144 S. Ct. at 1946 (Thomas, J., dissenting). This would “open the door to egregious abuse” of the Second Amendment right. McWilliam, Refining the Dangerousness Standard, supra, at 325. The Court has never countenanced such deference, and we
Contrary to the panel‘s conclusion, the principles that underly our tradition of disarming dangerous individuals are not “relevantly similar” to the firearm condition as applied to Perez-Garcia and Fencl. Bruen, 597 U.S. at 29; Rahimi, 144 S. Ct. at 1898. In making this determination, we must consider “[w]hy and how the regulation burdens the [Second Amendment] right.” Rahimi, 144 S. Ct. at 1898. It is the latter that is fatal here.
The historical laws described above present two ways that one could traditionally be disarmed. First, the group disarmament laws surrounding the Founding permitted disarmament if one was a member of a group that was expected to take up arms against the government. Second, the affray and surety laws allowed one to be disarmed if he “misus[ed] weapons to harm or menace others.” Id. at 1899. The “principles that underpin [this specific] regulatory tradition,” then, are that one can be disarmed if he misuses his weapon to harm others or takes up that weapon against his country. Id. at 1898. This tracks the Supreme Court‘s recent conclusion that the surety and affray laws support a principle that “individuals who threaten physical harm to others” can be disarmed, id. at 1896, and is therefore the “right level of generality,” id. at 1926 (Barrett, J., concurring).
Neither Perez-Garcia nor Fencl falls into either category. No one has argued that they are a part of a group feared to take up arms against the United States government. While the panel cited to laws related to group disarmament, Perez-Garcia, 96 F.4th at 1187, its ultimate conclusion was based on the individual danger posed by the defendants. And neither defendant “likely would threaten or had threatened another with a weapon.” Rahimi, 144 S. Ct. at 1902.6
Perez-Garcia was charged with knowingly importing a controlled substance under
Fencl‘s alleged conduct involves firearms but similarly stops short of presenting a “clear threat of physical violence to another.” Rahimi, 144 S. Ct. at 1901. He was charged with unlawfully possessing three unlicensed short-barrel rifles and four unlicensed silencers in violation of
In reviewing burdens on the Second Amendment right, our job is to “consider[] whether the challenged regulation is consistent with the principles that underpin our regulatory tradition.” Rahimi, 144 S. Ct. at 1898. In the context of these laws, the principle is clear: those who “pose[] a clear threat of violence to another” or to the community can be disarmed. Id. at 1901. The government has failed to show that Perez-Garcia or Fencl pose such a “clear threat.”
This conclusion makes sense as a matter of first principles. The general principle behind the Second Amendment is that of defense against violence. See Jamie G. McWilliam, A Classical Legal Interpretation of the Second Amendment, 28 Tex. Rev. L. & Pol. 125, 150–58 (2024). It furthered this principle, in part, by securing the right of the people to possess arms for individual and collective self-defense. See Heller, 554 U.S. at 599, 630 (describing “individual self-defense” as “the core lawful purpose” for possessing arms and the “central component of the right itself“); United States v. Miller, 307 U.S. 174, 178 (1939) (declining to find short-barrel shotguns within the scope of the Second Amendment because they could not “contribute to the common defense“). Consistent with this general principle, those who create the danger that the Second Amendment was designed to protect against could be disarmed. This explains why those who would endanger the community by taking up arms against the government, or those who would threaten others with firearms, could traditionally be disarmed. Since the government has not shown that Perez-Garcia or Fencl would do either, they do not fall within “the principles that underpin our … tradition” of disarmament. Rahimi, 144 S. Ct. at 1898 (emphasis added).
* * *
We should have taken this case en banc in order to vacate the panel‘s unnecessary and gratuitous opinion. Even though mootness deprived us of the ability to review the merits of the panel‘s decision, there was still “the opportunity to seek an en banc rehearing for the purpose of vacating [the] decision.” Payton, 593 F.3d at 886. “The decision whether to vacate a filed opinion based on post hoc mootness is within our discretion based on equity.” Dickens v. Ryan, 744 F.3d 1147, 1148 (9th Cir. 2014) (en banc) (cleaned up). It is appropriate to exercise that discretion to “clear[] the path for future relitigation of the issues between the parties,” United States v. Munsingwear, Inc., 340 U.S. 36, 40 (1950), or where “exceptional circumstances … counsel in favor of such a course,” U.S. Bancorp Mortg. Co. v. Bonner Mall P‘ship, 513 U.S. 18, 29 (1994).
The facts surrounding the panel‘s opinion rendered the circumstances exceptional enough to warrant vacating it. The panel went out of its way to needlessly analyze the history of disarming “dangerous” individuals—an issue key to the constitutionality of a host of gun laws, including most of the section 922(g) rules. Perez-Garcia, 96 F.4th at 1186. It did not have to do so. The panel‘s conclusion that the tradition of detaining capital defendants before trial justified the firearm condition‘s application to Perez-Garcia and Fencl, although erroneous, was sufficient to decide the case. Id.
Vacating this opinion wouldn‘t just “clear[] the path for future relitigation of the issues between the parties.” Munsingwear, 340 U.S. at 40. It would also clear the path for the dangerousness issue to be cleanly litigated by a host of
The concurral attempts to justify the panel‘s assistance with the government‘s burden by characterizing the issue as a “question of law” that the panel had to get right. No doubt it is the court‘s duty to get the law right, which raises a very interesting theoretical tension between the court‘s role in interpreting legal questions and the government‘s burden to identify historical analogues. That could present a difficult challenge in a different case where the panel had no choice but to balance those concerns to properly decide the case. But here, the case was moot, and the panel could easily have exercised its discretion not to issue an opinion—especially since it obviously thought the government had done an inadequate job of presenting the historical record. Or it could have at least limited its opinion to just one of its alternative grounds. But since none of these issues needed to be addressed in an opinion at all, it rings hollow for the concurral to suggest that the panel was forced to do its own research to help the government meet its burden to develop the historical record in order to get the law right … in a moot case. It‘s beyond dispute that the panel here went out of its way to decide issues it clearly did not need to decide, and then helped the government in deciding those issues.
Against this background of unnecessarily deciding the dangerousness issue and doing so using historical analogues not provided by the government, the errors in the panel‘s own merits analysis become all the more problematic. As discussed above, the panel‘s historical analysis flies in the face of Supreme Court precedent twice over: It abstracts the history to such a high level of generality that it essentially returns us to the realm of interest-balancing, Bruen, 597 U.S. at 26, all while failing to hold the government to its burden, Rahimi, 144 S. Ct. at 1897. Even if those errors alone would not necessarily warrant vacating the panel‘s opinion, introducing these errors through a needless analysis in which the panel helped the government meet its burden of justification certainly presents an exceptional circumstance in which it would have been appropriate to exercise our equitable discretion to vacate the panel‘s opinion. U.S. Bancorp Mortg. Co., 513 U.S. at 29. “Although we can no longer use en banc review to correct the errors in the opinion because the case became moot … we can vacate the decision to avoid having the panel‘s serious misinterpretations of Supreme Court [Second Amendment] jurisprudence become the law of our circuit.” Parsons v. Ryan, 784 F.3d 571, 572 n.1 (9th Cir. 2015) (Ikuta, J., dissenting). We should have done so here.
